AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RL

Richard V. Lasala

Some features on this profile are disabled
CRD#: 3252246
RL

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Vincent Lasala, who also goes by Richard V Lasala, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard V Lasala

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 29, 2022 - September 30, 2022

JOSEPH GUNNAR & CO. LLC

RIA
CRD#: 24795
PLANTATION, FL
Past

March 29, 2022 - September 30, 2022

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

July 23, 2018 - March 28, 2022

AEGIS CAPITAL CORP.

RIA
CRD#: 15007
MELVILLE, NY
Past

July 23, 2018 - March 28, 2022

AEGIS CAPITAL CORP.

BD
CRD#: 15007
MELVILLE, NY
Past

August 19, 2016 - August 23, 2018

WADDELL & REED

RIA
CRD#: 866
HAMDEN, CT
Past

August 18, 2016 - August 23, 2018

WADDELL & REED

BD
CRD#: 866
HAMDEN, CT
Past

October 28, 2014 - August 19, 2016

KEDEM CAPITAL CORPORATION

BD
CRD#: 18178
MELVILLE, NY
Past

July 28, 2014 - September 29, 2014

GILFORD FINANCIAL CORP.

RIA
CRD#: 126593
NEW YORK, NY
Past

July 25, 2014 - September 29, 2014

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
WESTHAMPTON BEACH, NY
Past

July 19, 2000 - April 25, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
RIVERHEAD, NY
Past

August 14, 1999 - April 25, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
RIVERHEAD, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)
California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)
New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/5/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/1999
General Securities Representative Examination

Current Firm

JG
JOSEPH GUNNAR & CO. LLC
AMERICAN PRIDE WEALTH MANAGEMENT GROUP | LELLOS WEALTH MANAGEMENT | JOSEPH GUNNAR & CO., LLC | JOSEPH GUNNAR & CO. LLC | EAST END SECURITIES, INC.

CRD#: 24795 / SEC#: 801-121064, 8-41386

RIA
Registered Investment Advisory firm - SEC (5/4/2021 Approved)
California
Registered Investment Advisory firm - SEC (8/5/2021 Terminated)
District of Columbia
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Louisiana
Registered Investment Advisory firm - SEC (5/10/2021 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (6/22/2021 Terminated)
New York
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (5/20/2021 Terminated)
Texas
Registered Investment Advisory firm - SEC (5/7/2021 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1000 Rxr Plaza 10th Floor, Uniondale, NY 11556
Mailing Address
1000 Rxr Plaza, Uniondale, NY 11556
Phone number
(212) 440-9600
Established
Delaware since 08/07/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
50

SEC notice filing (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

JOSEPH GUNNAR & CO., LLC ADV BROCHURE (4/23/2025)
JOSEPH GUNNAR WRAP FEE PROGRAM BROCHURE (4/23/2025)

Direct owners and executive officers

NamePositionCRD#
JOSEPH GUNNAR HOLDING CO., LLC.OWNER
ALAGNA, JOSEPH ANTHONY JRCHAIRMAN, CEO1840339
COLOMBO, DOUGLASPRINCIPAL OPERATIONS OFFICER1858351
HODGE, WILLIAM PAULCHIEF COMPLIANCE OFFICER / AMLCO1950852
SINGER, STEVEN FREDERICFINOP2360737
STEIN, STEPHAN APRESIDENT3238494

Regulatory assets under management

Total Number of Accounts68
AUM (Assets Under Management)$ 33,967,899

Disclosures

Regulatory Event5
Arbitration13

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

JOSEPH GUNNAR & CO. LLC

CRD#: 24795

TRUST BUT VERIFY

Monitor Richard Lasala

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Guy David Peel
Guy PeelAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Helena, MT
Mark Brown
Mark BrownAdvisorCheck Check Mark
AUSDAL FINANCIAL PARTNERS, INC.
IAR
RR
Estero, FL
Jeffrey Paul Meotti
Jeffrey MeottiAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
MADISON, CT
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.